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May 13

FinAuditing: A Financial Taxonomy-Structured Multi-Document Benchmark for Evaluating LLMs

The complexity of the Generally Accepted Accounting Principles (GAAP) and the hierarchical structure of eXtensible Business Reporting Language (XBRL) filings make financial auditing increasingly difficult to automate and verify. While large language models (LLMs) have demonstrated strong capabilities in unstructured text understanding, their ability to reason over structured, interdependent, and taxonomy-driven financial documents remains largely unexplored. To fill this gap, we introduce FinAuditing, the first taxonomy-aligned, structure-aware, multi-document benchmark for evaluating LLMs on financial auditing tasks. Built from real US-GAAP-compliant XBRL filings, FinAuditing defines three complementary subtasks, FinSM for semantic consistency, FinRE for relational consistency, and FinMR for numerical consistency, each targeting a distinct aspect of structured auditing reasoning. We further propose a unified evaluation framework integrating retrieval, classification, and reasoning metrics across these subtasks. Extensive zero-shot experiments on 13 state-of-the-art LLMs reveal that current models perform inconsistently across semantic, relational, and mathematical dimensions, with accuracy drops of up to 60-90% when reasoning over hierarchical multi-document structures. Our findings expose the systematic limitations of modern LLMs in taxonomy-grounded financial reasoning and establish FinAuditing as a foundation for developing trustworthy, structure-aware, and regulation-aligned financial intelligence systems. The benchmark dataset is available at Hugging Face.

TheFinAI The Fin AI
·
Oct 9, 2025 2

SemParser: A Semantic Parser for Log Analysis

Logs, being run-time information automatically generated by software, record system events and activities with their timestamps. Before obtaining more insights into the run-time status of the software, a fundamental step of log analysis, called log parsing, is employed to extract structured templates and parameters from the semi-structured raw log messages. However, current log parsers are all syntax-based and regard each message as a character string, ignoring the semantic information included in parameters and templates. Thus, we propose the semantic-based parser SemParser to unlock the critical bottleneck of mining semantics from log messages. It contains two steps, an end-to-end semantic miner and a joint parser. Specifically, the first step aims to identify explicit semantics inside a single log, and the second step is responsible for jointly inferring implicit semantics and computing structural outputs based on the contextual knowledge base. To analyze the effectiveness of our semantic parser, we first demonstrate that it can derive rich semantics from log messages collected from six widely-applied systems with an average F1 score of 0.985. Then, we conduct two representative downstream tasks, showing that current downstream models improve their performance with appropriately extracted semantics by 1.2%-11.7% and 8.65% on two anomaly detection datasets and a failure identification dataset, respectively. We believe these findings provide insights into semantically understanding log messages for the log analysis community.

  • 4 authors
·
Dec 23, 2021

ReportLogic: Evaluating Logical Quality in Deep Research Reports

Users increasingly rely on Large Language Models (LLMs) for Deep Research, using them to synthesize diverse sources into structured reports that support understanding and action. In this context, the practical reliability of such reports hinges on logical quality: whether the report's claims and arguments are explicitly supported and can be trusted as a basis for downstream use, rather than merely appearing fluent or informative. However, current evaluation frameworks largely overlook this requirement. To bridge this gap, we introduce ReportLogic, a benchmark that quantifies report-level logical quality through a reader-centric lens of auditability. Specifically, ReportLogic adopts a hierarchical taxonomy that evaluates whether readers can (1) trace an on-topic report structure with a unified analytical arc (Macro-Logic), (2) understand the progression with necessary context (Expositional-Logic), and (3) verify conclusions via explicit claim--support (Structural-Logic). Based on this taxonomy, we construct a human-annotated rubric-guided dataset and train an open-source LogicJudge for scalable evaluation. We further evaluate judge robustness via adversarial attacks, showing that off-the-shelf LLM judges are frequently influenced by superficial cues (e.g., verbosity), and reasoning modes can mask broken support relations. Overall, our results provide actionable guidance for building more robust logic evaluators and improving the logical reliability of LLM-generated reports.

  • 7 authors
·
Jan 27

Who Audits the Auditors? Recommendations from a field scan of the algorithmic auditing ecosystem

AI audits are an increasingly popular mechanism for algorithmic accountability; however, they remain poorly defined. Without a clear understanding of audit practices, let alone widely used standards or regulatory guidance, claims that an AI product or system has been audited, whether by first-, second-, or third-party auditors, are difficult to verify and may exacerbate, rather than mitigate, bias and harm. To address this knowledge gap, we provide the first comprehensive field scan of the AI audit ecosystem. We share a catalog of individuals (N=438) and organizations (N=189) who engage in algorithmic audits or whose work is directly relevant to algorithmic audits; conduct an anonymous survey of the group (N=152); and interview industry leaders (N=10). We identify emerging best practices as well as methods and tools that are becoming commonplace, and enumerate common barriers to leveraging algorithmic audits as effective accountability mechanisms. We outline policy recommendations to improve the quality and impact of these audits, and highlight proposals with wide support from algorithmic auditors as well as areas of debate. Our recommendations have implications for lawmakers, regulators, internal company policymakers, and standards-setting bodies, as well as for auditors. They are: 1) require the owners and operators of AI systems to engage in independent algorithmic audits against clearly defined standards; 2) notify individuals when they are subject to algorithmic decision-making systems; 3) mandate disclosure of key components of audit findings for peer review; 4) consider real-world harm in the audit process, including through standardized harm incident reporting and response mechanisms; 5) directly involve the stakeholders most likely to be harmed by AI systems in the algorithmic audit process; and 6) formalize evaluation and, potentially, accreditation of algorithmic auditors.

  • 5 authors
·
Oct 3, 2023

Bridging the Data Provenance Gap Across Text, Speech and Video

Progress in AI is driven largely by the scale and quality of training data. Despite this, there is a deficit of empirical analysis examining the attributes of well-established datasets beyond text. In this work we conduct the largest and first-of-its-kind longitudinal audit across modalities--popular text, speech, and video datasets--from their detailed sourcing trends and use restrictions to their geographical and linguistic representation. Our manual analysis covers nearly 4000 public datasets between 1990-2024, spanning 608 languages, 798 sources, 659 organizations, and 67 countries. We find that multimodal machine learning applications have overwhelmingly turned to web-crawled, synthetic, and social media platforms, such as YouTube, for their training sets, eclipsing all other sources since 2019. Secondly, tracing the chain of dataset derivations we find that while less than 33% of datasets are restrictively licensed, over 80% of the source content in widely-used text, speech, and video datasets, carry non-commercial restrictions. Finally, counter to the rising number of languages and geographies represented in public AI training datasets, our audit demonstrates measures of relative geographical and multilingual representation have failed to significantly improve their coverage since 2013. We believe the breadth of our audit enables us to empirically examine trends in data sourcing, restrictions, and Western-centricity at an ecosystem-level, and that visibility into these questions are essential to progress in responsible AI. As a contribution to ongoing improvements in dataset transparency and responsible use, we release our entire multimodal audit, allowing practitioners to trace data provenance across text, speech, and video.

  • 43 authors
·
Dec 18, 2024 2

Super Research: Answering Highly Complex Questions with Large Language Models through Super Deep and Super Wide Research

While Large Language Models (LLMs) have demonstrated proficiency in Deep Research or Wide Search, their capacity to solve highly complex questions-those requiring long-horizon planning, massive evidence gathering, and synthesis across heterogeneous sources-remains largely unexplored. We introduce Super Research, a task for complex autonomous research tasks that integrates (i) structured decomposition into a research plan, (ii) super wide retrieval for diverse perspectives, and (iii) super deep investigation to resolve uncertainties through iterative queries. To evaluate this capability, we curated a benchmark of 300 expert-written questions across diverse domains, each requiring up to 100+ retrieval steps and 1,000+ web pages to reconcile conflicting evidence. Super Research produces verifiable reports with fine-grained citations and intermediate artifacts (e.g., outlines and tables) to ensure traceable reasoning. Furthermore, we present a graph-anchored auditing protocol that evaluates Super Research along five dimensions: Coverage, Logical Consistency, Report Utility, Objectivity and Citation Health. While super-complex questions may be infrequent in standard applications, Super Research serves as a critical ceiling evaluation and stress test for LLM capabilities. A model's proficiency within Super Research acts as a powerful proxy for its general research competence; success here suggests the robustness necessary to navigate nearly any subordinate research task. Leaderboard is available at: https://cnsdqd-dyb.github.io/Super-Research-Benchmark/

  • 8 authors
·
Mar 2

Semantic Operators: A Declarative Model for Rich, AI-based Data Processing

The semantic capabilities of large language models (LLMs) have the potential to enable rich analytics and reasoning over vast knowledge corpora. Unfortunately, existing systems either empirically optimize expensive LLM-powered operations with no performance guarantees, or serve a limited set of row-wise LLM operations, providing limited robustness, expressiveness and usability. We introduce semantic operators, the first formalism for declarative and general-purpose AI-based transformations based on natural language specifications (e.g., filtering, sorting, joining or aggregating records using natural language criteria). Each operator opens a rich space for execution plans, similar to relational operators. Our model specifies the expected behavior of each operator with a high-quality gold algorithm, and we develop an optimization framework that reduces cost, while providing accuracy guarantees with respect to a gold algorithm. Using this approach, we propose several novel optimizations to accelerate semantic filtering, joining, group-by and top-k operations by up to 1,000times. We implement semantic operators in the LOTUS system and demonstrate LOTUS' effectiveness on real, bulk-semantic processing applications, including fact-checking, biomedical multi-label classification, search, and topic analysis. We show that the semantic operator model is expressive, capturing state-of-the-art AI pipelines in a few operator calls, and making it easy to express new pipelines that match or exceed quality of recent LLM-based analytic systems by up to 170%, while offering accuracy guarantees. Overall, LOTUS programs match or exceed the accuracy of state-of-the-art AI pipelines for each task while running up to 3.6times faster than the highest-quality baselines. LOTUS is publicly available at https://github.com/lotus-data/lotus.

  • 7 authors
·
Jul 16, 2024

AuditLLM: A Tool for Auditing Large Language Models Using Multiprobe Approach

As Large Language Models (LLMs) gain wider adoption in various contexts, it becomes crucial to ensure they are reasonably safe, consistent, and reliable for an application at hand. This may require probing or auditing them. Probing LLMs with varied iterations of a single question could reveal potential inconsistencies in their knowledge or functionality. However, a tool for performing such audits with simple workflow and low technical threshold is lacking. In this demo, we introduce "AuditLLM," a novel tool designed to evaluate the performance of various LLMs in a methodical way. AuditLLM's core functionality lies in its ability to test a given LLM by auditing it using multiple probes generated from a single question, thereby identifying any inconsistencies in the model's understanding or operation. A reasonably robust, reliable, and consistent LLM should output semantically similar responses for a question asked differently or by different people. Based on this assumption, AuditLLM produces easily interpretable results regarding the LLM's consistencies from a single question that the user enters. A certain level of inconsistency has been shown to be an indicator of potential bias, hallucinations, and other issues. One could then use the output of AuditLLM to further investigate issues with the aforementioned LLM. To facilitate demonstration and practical uses, AuditLLM offers two key modes: (1) Live mode which allows instant auditing of LLMs by analyzing responses to real-time queries; (2) Batch mode which facilitates comprehensive LLM auditing by processing multiple queries at once for in-depth analysis. This tool is beneficial for both researchers and general users, as it enhances our understanding of LLMs' capabilities in generating responses, using a standardized auditing platform.

  • 4 authors
·
Feb 14, 2024

LLMAuditor: A Framework for Auditing Large Language Models Using Human-in-the-Loop

As Large Language Models (LLMs) become more pervasive across various users and scenarios, identifying potential issues when using these models becomes essential. Examples of such issues include: bias, inconsistencies, and hallucination. Although auditing the LLM for these problems is often warranted, such a process is neither easy nor accessible for most. An effective method is to probe the LLM using different versions of the same question. This could expose inconsistencies in its knowledge or operation, indicating potential for bias or hallucination. However, to operationalize this auditing method at scale, we need an approach to create those probes reliably and automatically. In this paper we propose the LLMAuditor framework which is an automatic, and scalable solution, where one uses a different LLM along with human-in-the-loop (HIL). This approach offers verifiability and transparency, while avoiding circular reliance on the same LLM, and increasing scientific rigor and generalizability. Specifically, LLMAuditor includes two phases of verification using humans: standardized evaluation criteria to verify responses, and a structured prompt template to generate desired probes. A case study using questions from the TruthfulQA dataset demonstrates that we can generate a reliable set of probes from one LLM that can be used to audit inconsistencies in a different LLM. This process is enhanced by our structured prompt template with HIL, which not only boosts the reliability of our approach in auditing but also yields the delivery of less hallucinated results. The novelty of our research stems from the development of a comprehensive, general-purpose framework that includes a HIL verified prompt template for auditing responses generated by LLMs.

  • 7 authors
·
Feb 14, 2024

The Data Provenance Initiative: A Large Scale Audit of Dataset Licensing & Attribution in AI

The race to train language models on vast, diverse, and inconsistently documented datasets has raised pressing concerns about the legal and ethical risks for practitioners. To remedy these practices threatening data transparency and understanding, we convene a multi-disciplinary effort between legal and machine learning experts to systematically audit and trace 1800+ text datasets. We develop tools and standards to trace the lineage of these datasets, from their source, creators, series of license conditions, properties, and subsequent use. Our landscape analysis highlights the sharp divides in composition and focus of commercially open vs closed datasets, with closed datasets monopolizing important categories: lower resource languages, more creative tasks, richer topic variety, newer and more synthetic training data. This points to a deepening divide in the types of data that are made available under different license conditions, and heightened implications for jurisdictional legal interpretations of copyright and fair use. We also observe frequent miscategorization of licenses on widely used dataset hosting sites, with license omission of 72%+ and error rates of 50%+. This points to a crisis in misattribution and informed use of the most popular datasets driving many recent breakthroughs. As a contribution to ongoing improvements in dataset transparency and responsible use, we release our entire audit, with an interactive UI, the Data Provenance Explorer, which allows practitioners to trace and filter on data provenance for the most popular open source finetuning data collections: www.dataprovenance.org.

  • 18 authors
·
Oct 25, 2023 2

SESA: Supervised Explicit Semantic Analysis

In recent years supervised representation learning has provided state of the art or close to the state of the art results in semantic analysis tasks including ranking and information retrieval. The core idea is to learn how to embed items into a latent space such that they optimize a supervised objective in that latent space. The dimensions of the latent space have no clear semantics, and this reduces the interpretability of the system. For example, in personalization models, it is hard to explain why a particular item is ranked high for a given user profile. We propose a novel model of representation learning called Supervised Explicit Semantic Analysis (SESA) that is trained in a supervised fashion to embed items to a set of dimensions with explicit semantics. The model learns to compare two objects by representing them in this explicit space, where each dimension corresponds to a concept from a knowledge base. This work extends Explicit Semantic Analysis (ESA) with a supervised model for ranking problems. We apply this model to the task of Job-Profile relevance in LinkedIn in which a set of skills defines our explicit dimensions of the space. Every profile and job are encoded to this set of skills their similarity is calculated in this space. We use RNNs to embed text input into this space. In addition to interpretability, our model makes use of the web-scale collaborative skills data that is provided by users for each LinkedIn profile. Our model provides state of the art result while it remains interpretable.

  • 2 authors
·
Aug 10, 2017

A Systematic Review of Key Retrieval-Augmented Generation (RAG) Systems: Progress, Gaps, and Future Directions

Retrieval-Augmented Generation (RAG) represents a major advancement in natural language processing (NLP), combining large language models (LLMs) with information retrieval systems to enhance factual grounding, accuracy, and contextual relevance. This paper presents a comprehensive systematic review of RAG, tracing its evolution from early developments in open domain question answering to recent state-of-the-art implementations across diverse applications. The review begins by outlining the motivations behind RAG, particularly its ability to mitigate hallucinations and outdated knowledge in parametric models. Core technical components-retrieval mechanisms, sequence-to-sequence generation models, and fusion strategies are examined in detail. A year-by-year analysis highlights key milestones and research trends, providing insight into RAG's rapid growth. The paper further explores the deployment of RAG in enterprise systems, addressing practical challenges related to retrieval of proprietary data, security, and scalability. A comparative evaluation of RAG implementations is conducted, benchmarking performance on retrieval accuracy, generation fluency, latency, and computational efficiency. Persistent challenges such as retrieval quality, privacy concerns, and integration overhead are critically assessed. Finally, the review highlights emerging solutions, including hybrid retrieval approaches, privacy-preserving techniques, optimized fusion strategies, and agentic RAG architectures. These innovations point toward a future of more reliable, efficient, and context-aware knowledge-intensive NLP systems.

  • 4 authors
·
Jul 24, 2025

Combining Fact Extraction and Verification with Neural Semantic Matching Networks

The increasing concern with misinformation has stimulated research efforts on automatic fact checking. The recently-released FEVER dataset introduced a benchmark fact-verification task in which a system is asked to verify a claim using evidential sentences from Wikipedia documents. In this paper, we present a connected system consisting of three homogeneous neural semantic matching models that conduct document retrieval, sentence selection, and claim verification jointly for fact extraction and verification. For evidence retrieval (document retrieval and sentence selection), unlike traditional vector space IR models in which queries and sources are matched in some pre-designed term vector space, we develop neural models to perform deep semantic matching from raw textual input, assuming no intermediate term representation and no access to structured external knowledge bases. We also show that Pageview frequency can also help improve the performance of evidence retrieval results, that later can be matched by using our neural semantic matching network. For claim verification, unlike previous approaches that simply feed upstream retrieved evidence and the claim to a natural language inference (NLI) model, we further enhance the NLI model by providing it with internal semantic relatedness scores (hence integrating it with the evidence retrieval modules) and ontological WordNet features. Experiments on the FEVER dataset indicate that (1) our neural semantic matching method outperforms popular TF-IDF and encoder models, by significant margins on all evidence retrieval metrics, (2) the additional relatedness score and WordNet features improve the NLI model via better semantic awareness, and (3) by formalizing all three subtasks as a similar semantic matching problem and improving on all three stages, the complete model is able to achieve the state-of-the-art results on the FEVER test set.

  • 3 authors
·
Nov 16, 2018

FinTagging: An LLM-ready Benchmark for Extracting and Structuring Financial Information

We introduce FinTagging, the first full-scope, table-aware XBRL benchmark designed to evaluate the structured information extraction and semantic alignment capabilities of large language models (LLMs) in the context of XBRL-based financial reporting. Unlike prior benchmarks that oversimplify XBRL tagging as flat multi-class classification and focus solely on narrative text, FinTagging decomposes the XBRL tagging problem into two subtasks: FinNI for financial entity extraction and FinCL for taxonomy-driven concept alignment. It requires models to jointly extract facts and align them with the full 10k+ US-GAAP taxonomy across both unstructured text and structured tables, enabling realistic, fine-grained evaluation. We assess a diverse set of LLMs under zero-shot settings, systematically analyzing their performance on both subtasks and overall tagging accuracy. Our results reveal that, while LLMs demonstrate strong generalization in information extraction, they struggle with fine-grained concept alignment, particularly in disambiguating closely related taxonomy entries. These findings highlight the limitations of existing LLMs in fully automating XBRL tagging and underscore the need for improved semantic reasoning and schema-aware modeling to meet the demands of accurate financial disclosure. Code is available at our GitHub repository and data is at our Hugging Face repository.

TheFinAI The Fin AI
·
May 26, 2025 2

Information Extraction from Heterogeneous Documents without Ground Truth Labels using Synthetic Label Generation and Knowledge Distillation

Invoices and receipts submitted by employees are visually rich documents (VRDs) with textual, visual and layout information. To protect against the risk of fraud and abuse, it is crucial for organizations to efficiently extract desired information from submitted receipts. This helps in the assessment of key factors such as appropriateness of the expense claim, adherence to spending and transaction policies, the validity of the receipt, as well as downstream anomaly detection at various levels. These documents are heterogeneous, with multiple formats and languages, uploaded with different image qualities, and often do not contain ground truth labels for the efficient training of models. In this paper we propose Task Aware Instruction-based Labelling (TAIL), a method for synthetic label generation in VRD corpuses without labels, and fine-tune a multimodal Visually Rich Document Understanding Model (VRDU) on TAIL labels using response-based knowledge distillation without using the teacher model's weights or training dataset to conditionally generate annotations in the appropriate format. Using a benchmark external dataset where ground truth labels are available, we demonstrate conditions under which our approach performs at par with Claude 3 Sonnet through empirical studies. We then show that the resulting model performs at par or better on the internal expense documents of a large multinational organization than state-of-the-art LMM (large multimodal model) Claude 3 Sonnet while being 85% less costly and ~5X faster, and outperforms layout-aware baselines by more than 10% in Average Normalized Levenshtein Similarity (ANLS) scores due to its ability to reason and extract information from rare formats. Finally, we illustrate the usage of our approach in overpayment prevention.

  • 2 authors
·
Nov 22, 2024

Semantic Probabilistic Control of Language Models

Semantic control entails steering LM generations towards satisfying subtle non-lexical constraints, e.g., toxicity, sentiment, or politeness, attributes that can be captured by a sequence-level verifier. It can thus be viewed as sampling from the LM distribution conditioned on the target attribute, a computationally intractable problem due to the non-decomposable nature of the verifier. Existing approaches to LM control either only deal with syntactic constraints which cannot capture the aforementioned attributes, or rely on sampling to explore the conditional LM distribution, an ineffective estimator for low-probability events. In this work, we leverage a verifier's gradient information to efficiently reason over all generations that satisfy the target attribute, enabling precise steering of LM generations by reweighing the next-token distribution. Starting from an initial sample, we create a local LM distribution favoring semantically similar sentences. This approximation enables the tractable computation of an expected sentence embedding. We use this expected embedding, informed by the verifier's evaluation at the initial sample, to estimate the probability of satisfying the constraint, which directly informs the update to the next-token distribution. We evaluated the effectiveness of our approach in controlling the toxicity, sentiment, and topic-adherence of LMs yielding generations satisfying the constraint with high probability (>95%) without degrading their quality.

  • 4 authors
·
May 3, 2025

HetaRAG: Hybrid Deep Retrieval-Augmented Generation across Heterogeneous Data Stores

Retrieval-augmented generation (RAG) has become a dominant paradigm for mitigating knowledge hallucination and staleness in large language models (LLMs) while preserving data security. By retrieving relevant evidence from private, domain-specific corpora and injecting it into carefully engineered prompts, RAG delivers trustworthy responses without the prohibitive cost of fine-tuning. Traditional retrieval-augmented generation (RAG) systems are text-only and often rely on a single storage backend, most commonly a vector database. In practice, this monolithic design suffers from unavoidable trade-offs: vector search captures semantic similarity yet loses global context; knowledge graphs excel at relational precision but struggle with recall; full-text indexes are fast and exact yet semantically blind; and relational engines such as MySQL provide strong transactional guarantees but no semantic understanding. We argue that these heterogeneous retrieval paradigms are complementary, and propose a principled fusion scheme to orchestrate them synergistically, mitigating the weaknesses of any single modality. In this work we introduce HetaRAG, a hybrid, deep-retrieval augmented generation framework that orchestrates cross-modal evidence from heterogeneous data stores. We plan to design a system that unifies vector indices, knowledge graphs, full-text engines, and structured databases into a single retrieval plane, dynamically routing and fusing evidence to maximize recall, precision, and contextual fidelity. To achieve this design goal, we carried out preliminary explorations and constructed an initial RAG pipeline; this technical report provides a brief overview. The partial code is available at https://github.com/KnowledgeXLab/HetaRAG.

  • 10 authors
·
Sep 12, 2025

Evaluating the Ability of LLMs to Solve Semantics-Aware Process Mining Tasks

The process mining community has recently recognized the potential of large language models (LLMs) for tackling various process mining tasks. Initial studies report the capability of LLMs to support process analysis and even, to some extent, that they are able to reason about how processes work. This latter property suggests that LLMs could also be used to tackle process mining tasks that benefit from an understanding of process behavior. Examples of such tasks include (semantic) anomaly detection and next activity prediction, which both involve considerations of the meaning of activities and their inter-relations. In this paper, we investigate the capabilities of LLMs to tackle such semantics-aware process mining tasks. Furthermore, whereas most works on the intersection of LLMs and process mining only focus on testing these models out of the box, we provide a more principled investigation of the utility of LLMs for process mining, including their ability to obtain process mining knowledge post-hoc by means of in-context learning and supervised fine-tuning. Concretely, we define three process mining tasks that benefit from an understanding of process semantics and provide extensive benchmarking datasets for each of them. Our evaluation experiments reveal that (1) LLMs fail to solve challenging process mining tasks out of the box and when provided only a handful of in-context examples, (2) but they yield strong performance when fine-tuned for these tasks, consistently surpassing smaller, encoder-based language models.

  • 4 authors
·
Jul 2, 2024

SoK: Privacy Risks and Mitigations in Retrieval-Augmented Generation Systems

The continued promise of Large Language Models (LLMs), particularly in their natural language understanding and generation capabilities, has driven a rapidly increasing interest in identifying and developing LLM use cases. In an effort to complement the ingrained "knowledge" of LLMs, Retrieval-Augmented Generation (RAG) techniques have become widely popular. At its core, RAG involves the coupling of LLMs with domain-specific knowledge bases, whereby the generation of a response to a user question is augmented with contextual and up-to-date information. The proliferation of RAG has sparked concerns about data privacy, particularly with the inherent risks that arise when leveraging databases with potentially sensitive information. Numerous recent works have explored various aspects of privacy risks in RAG systems, from adversarial attacks to proposed mitigations. With the goal of surveying and unifying these works, we ask one simple question: What are the privacy risks in RAG, and how can they be measured and mitigated? To answer this question, we conduct a systematic literature review of RAG works addressing privacy, and we systematize our findings into a comprehensive set of privacy risks, mitigation techniques, and evaluation strategies. We supplement these findings with two primary artifacts: a Taxonomy of RAG Privacy Risks and a RAG Privacy Process Diagram. Our work contributes to the study of privacy in RAG not only by conducting the first systematization of risks and mitigations, but also by uncovering important considerations when mitigating privacy risks in RAG systems and assessing the current maturity of proposed mitigations.

  • 4 authors
·
Jan 7

Auditing and Generating Synthetic Data with Controllable Trust Trade-offs

Data collected from the real world tends to be biased, unbalanced, and at risk of exposing sensitive and private information. This reality has given rise to the idea of creating synthetic datasets to alleviate risk, bias, harm, and privacy concerns inherent in the real data. This concept relies on Generative AI models to produce unbiased, privacy-preserving synthetic data while being true to the real data. In this new paradigm, how can we tell if this approach delivers on its promises? We present an auditing framework that offers a holistic assessment of synthetic datasets and AI models trained on them, centered around bias and discrimination prevention, fidelity to the real data, utility, robustness, and privacy preservation. We showcase our framework by auditing multiple generative models on diverse use cases, including education, healthcare, banking, human resources, and across different modalities, from tabular, to time-series, to natural language. Our use cases demonstrate the importance of a holistic assessment in order to ensure compliance with socio-technical safeguards that regulators and policymakers are increasingly enforcing. For this purpose, we introduce the trust index that ranks multiple synthetic datasets based on their prescribed safeguards and their desired trade-offs. Moreover, we devise a trust-index-driven model selection and cross-validation procedure via auditing in the training loop that we showcase on a class of transformer models that we dub TrustFormers, across different modalities. This trust-driven model selection allows for controllable trust trade-offs in the resulting synthetic data. We instrument our auditing framework with workflows that connect different stakeholders from model development to audit and certification via a synthetic data auditing report.

  • 14 authors
·
Apr 21, 2023

Ragnarök: A Reusable RAG Framework and Baselines for TREC 2024 Retrieval-Augmented Generation Track

Did you try out the new Bing Search? Or maybe you fiddled around with Google AI~Overviews? These might sound familiar because the modern-day search stack has recently evolved to include retrieval-augmented generation (RAG) systems. They allow searching and incorporating real-time data into large language models (LLMs) to provide a well-informed, attributed, concise summary in contrast to the traditional search paradigm that relies on displaying a ranked list of documents. Therefore, given these recent advancements, it is crucial to have an arena to build, test, visualize, and systematically evaluate RAG-based search systems. With this in mind, we propose the TREC 2024 RAG Track to foster innovation in evaluating RAG systems. In our work, we lay out the steps we've made towards making this track a reality -- we describe the details of our reusable framework, Ragnar\"ok, explain the curation of the new MS MARCO V2.1 collection choice, release the development topics for the track, and standardize the I/O definitions which assist the end user. Next, using Ragnar\"ok, we identify and provide key industrial baselines such as OpenAI's GPT-4o or Cohere's Command R+. Further, we introduce a web-based user interface for an interactive arena allowing benchmarking pairwise RAG systems by crowdsourcing. We open-source our Ragnar\"ok framework and baselines to achieve a unified standard for future RAG systems.

  • 8 authors
·
Jun 24, 2024

Matching Table Metadata with Business Glossaries Using Large Language Models

Enterprises often own large collections of structured data in the form of large databases or an enterprise data lake. Such data collections come with limited metadata and strict access policies that could limit access to the data contents and, therefore, limit the application of classic retrieval and analysis solutions. As a result, there is a need for solutions that can effectively utilize the available metadata. In this paper, we study the problem of matching table metadata to a business glossary containing data labels and descriptions. The resulting matching enables the use of an available or curated business glossary for retrieval and analysis without or before requesting access to the data contents. One solution to this problem is to use manually-defined rules or similarity measures on column names and glossary descriptions (or their vector embeddings) to find the closest match. However, such approaches need to be tuned through manual labeling and cannot handle many business glossaries that contain a combination of simple as well as complex and long descriptions. In this work, we leverage the power of large language models (LLMs) to design generic matching methods that do not require manual tuning and can identify complex relations between column names and glossaries. We propose methods that utilize LLMs in two ways: a) by generating additional context for column names that can aid with matching b) by using LLMs to directly infer if there is a relation between column names and glossary descriptions. Our preliminary experimental results show the effectiveness of our proposed methods.

  • 6 authors
·
Sep 7, 2023 2

Don't Get Lost in the Trees: Streamlining LLM Reasoning by Overcoming Tree Search Exploration Pitfalls

Recent advancements in tree search algorithms guided by verifiers have significantly enhanced the reasoning capabilities of large language models (LLMs), but at the cost of increased computational resources. In this work, we identify two key challenges contributing to this inefficiency: over-exploration due to redundant states with semantically equivalent content, and under-exploration caused by high variance in verifier scoring leading to frequent trajectory switching. To address these issues, we propose FETCH, an efficient tree search framework, which is a flexible, plug-and-play system compatible with various tree search algorithms. Our framework mitigates over-exploration by merging semantically similar states using agglomerative clustering of text embeddings obtained from a fine-tuned SimCSE model. To tackle under-exploration, we enhance verifiers by incorporating temporal difference learning with adjusted lambda-returns during training to reduce variance, and employing a verifier ensemble to aggregate scores during inference. Experiments on GSM8K, GSM-Plus, and MATH datasets demonstrate that our methods significantly improve reasoning accuracy and computational efficiency across four different tree search algorithms, paving the way for more practical applications of LLM-based reasoning. The code is available at https://github.com/Soistesimmer/Fetch.

  • 9 authors
·
Feb 16, 2025

Consent in Crisis: The Rapid Decline of the AI Data Commons

General-purpose artificial intelligence (AI) systems are built on massive swathes of public web data, assembled into corpora such as C4, RefinedWeb, and Dolma. To our knowledge, we conduct the first, large-scale, longitudinal audit of the consent protocols for the web domains underlying AI training corpora. Our audit of 14,000 web domains provides an expansive view of crawlable web data and how consent preferences to use it are changing over time. We observe a proliferation of AI-specific clauses to limit use, acute differences in restrictions on AI developers, as well as general inconsistencies between websites' expressed intentions in their Terms of Service and their robots.txt. We diagnose these as symptoms of ineffective web protocols, not designed to cope with the widespread re-purposing of the internet for AI. Our longitudinal analyses show that in a single year (2023-2024) there has been a rapid crescendo of data restrictions from web sources, rendering ~5%+ of all tokens in C4, or 28%+ of the most actively maintained, critical sources in C4, fully restricted from use. For Terms of Service crawling restrictions, a full 45% of C4 is now restricted. If respected or enforced, these restrictions are rapidly biasing the diversity, freshness, and scaling laws for general-purpose AI systems. We hope to illustrate the emerging crisis in data consent, foreclosing much of the open web, not only for commercial AI, but non-commercial AI and academic purposes.

  • 49 authors
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Jul 20, 2024 3

Supervised Topical Key Phrase Extraction of News Stories using Crowdsourcing, Light Filtering and Co-reference Normalization

Fast and effective automated indexing is critical for search and personalized services. Key phrases that consist of one or more words and represent the main concepts of the document are often used for the purpose of indexing. In this paper, we investigate the use of additional semantic features and pre-processing steps to improve automatic key phrase extraction. These features include the use of signal words and freebase categories. Some of these features lead to significant improvements in the accuracy of the results. We also experimented with 2 forms of document pre-processing that we call light filtering and co-reference normalization. Light filtering removes sentences from the document, which are judged peripheral to its main content. Co-reference normalization unifies several written forms of the same named entity into a unique form. We also needed a "Gold Standard" - a set of labeled documents for training and evaluation. While the subjective nature of key phrase selection precludes a true "Gold Standard", we used Amazon's Mechanical Turk service to obtain a useful approximation. Our data indicates that the biggest improvements in performance were due to shallow semantic features, news categories, and rhetorical signals (nDCG 78.47% vs. 68.93%). The inclusion of deeper semantic features such as Freebase sub-categories was not beneficial by itself, but in combination with pre-processing, did cause slight improvements in the nDCG scores.

  • 5 authors
·
Jun 20, 2013

Grounding Language Model with Chunking-Free In-Context Retrieval

This paper presents a novel Chunking-Free In-Context (CFIC) retrieval approach, specifically tailored for Retrieval-Augmented Generation (RAG) systems. Traditional RAG systems often struggle with grounding responses using precise evidence text due to the challenges of processing lengthy documents and filtering out irrelevant content. Commonly employed solutions, such as document chunking and adapting language models to handle longer contexts, have their limitations. These methods either disrupt the semantic coherence of the text or fail to effectively address the issues of noise and inaccuracy in evidence retrieval. CFIC addresses these challenges by circumventing the conventional chunking process. It utilizes the encoded hidden states of documents for in-context retrieval, employing auto-aggressive decoding to accurately identify the specific evidence text required for user queries, eliminating the need for chunking. CFIC is further enhanced by incorporating two decoding strategies, namely Constrained Sentence Prefix Decoding and Skip Decoding. These strategies not only improve the efficiency of the retrieval process but also ensure that the fidelity of the generated grounding text evidence is maintained. Our evaluations of CFIC on a range of open QA datasets demonstrate its superiority in retrieving relevant and accurate evidence, offering a significant improvement over traditional methods. By doing away with the need for document chunking, CFIC presents a more streamlined, effective, and efficient retrieval solution, making it a valuable advancement in the field of RAG systems.

  • 5 authors
·
Feb 15, 2024

Beyond Nearest Neighbors: Semantic Compression and Graph-Augmented Retrieval for Enhanced Vector Search

Vector databases typically rely on approximate nearest neighbor (ANN) search to retrieve the top-k closest vectors to a query in embedding space. While effective, this approach often yields semantically redundant results, missing the diversity and contextual richness required by applications such as retrieval-augmented generation (RAG), multi-hop QA, and memory-augmented agents. We introduce a new retrieval paradigm: semantic compression, which aims to select a compact, representative set of vectors that captures the broader semantic structure around a query. We formalize this objective using principles from submodular optimization and information geometry, and show that it generalizes traditional top-k retrieval by prioritizing coverage and diversity. To operationalize this idea, we propose graph-augmented vector retrieval, which overlays semantic graphs (e.g., kNN or knowledge-based links) atop vector spaces to enable multi-hop, context-aware search. We theoretically analyze the limitations of proximity-based retrieval under high-dimensional concentration and highlight how graph structures can improve semantic coverage. Our work outlines a foundation for meaning-centric vector search systems, emphasizing hybrid indexing, diversity-aware querying, and structured semantic retrieval. We make our implementation publicly available to foster future research in this area.

  • 2 authors
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Jul 25, 2025

Semantic Representation and Inference for NLP

Semantic representation and inference is essential for Natural Language Processing (NLP). The state of the art for semantic representation and inference is deep learning, and particularly Recurrent Neural Networks (RNNs), Convolutional Neural Networks (CNNs), and transformer Self-Attention models. This thesis investigates the use of deep learning for novel semantic representation and inference, and makes contributions in the following three areas: creating training data, improving semantic representations and extending inference learning. In terms of creating training data, we contribute the largest publicly available dataset of real-life factual claims for the purpose of automatic claim verification (MultiFC), and we present a novel inference model composed of multi-scale CNNs with different kernel sizes that learn from external sources to infer fact checking labels. In terms of improving semantic representations, we contribute a novel model that captures non-compositional semantic indicators. By definition, the meaning of a non-compositional phrase cannot be inferred from the individual meanings of its composing words (e.g., hot dog). Motivated by this, we operationalize the compositionality of a phrase contextually by enriching the phrase representation with external word embeddings and knowledge graphs. Finally, in terms of inference learning, we propose a series of novel deep learning architectures that improve inference by using syntactic dependencies, by ensembling role guided attention heads, incorporating gating layers, and concatenating multiple heads in novel and effective ways. This thesis consists of seven publications (five published and two under review).

  • 1 authors
·
Jun 15, 2021

FinSage: A Multi-aspect RAG System for Financial Filings Question Answering

Leveraging large language models in real-world settings often entails a need to utilize domain-specific data and tools in order to follow the complex regulations that need to be followed for acceptable use. Within financial sectors, modern enterprises increasingly rely on Retrieval-Augmented Generation (RAG) systems to address complex compliance requirements in financial document workflows. However, existing solutions struggle to account for the inherent heterogeneity of data (e.g., text, tables, diagrams) and evolving nature of regulatory standards used in financial filings, leading to compromised accuracy in critical information extraction. We propose the FinSage framework as a solution, utilizing a multi-aspect RAG framework tailored for regulatory compliance analysis in multi-modal financial documents. FinSage introduces three innovative components: (1) a multi-modal pre-processing pipeline that unifies diverse data formats and generates chunk-level metadata summaries, (2) a multi-path sparse-dense retrieval system augmented with query expansion (HyDE) and metadata-aware semantic search, and (3) a domain-specialized re-ranking module fine-tuned via Direct Preference Optimization (DPO) to prioritize compliance-critical content. Extensive experiments demonstrate that FinSage achieves an impressive recall of 92.51% on 75 expert-curated questions derived from surpasses the best baseline method on the FinanceBench question answering datasets by 24.06% in accuracy. Moreover, FinSage has been successfully deployed as financial question-answering agent in online meetings, where it has already served more than 1,200 people.

  • 16 authors
·
Apr 20, 2025

From Words to Code: Harnessing Data for Program Synthesis from Natural Language

Creating programs to correctly manipulate data is a difficult task, as the underlying programming languages and APIs can be challenging to learn for many users who are not skilled programmers. Large language models (LLMs) demonstrate remarkable potential for generating code from natural language, but in the data manipulation domain, apart from the natural language (NL) description of the intended task, we also have the dataset on which the task is to be performed, or the "data context". Existing approaches have utilized data context in a limited way by simply adding relevant information from the input data into the prompts sent to the LLM. In this work, we utilize the available input data to execute the candidate programs generated by the LLMs and gather their outputs. We introduce semantic reranking, a technique to rerank the programs generated by LLMs based on three signals coming the program outputs: (a) semantic filtering and well-formedness based score tuning: do programs even generate well-formed outputs, (b) semantic interleaving: how do the outputs from different candidates compare to each other, and (c) output-based score tuning: how do the outputs compare to outputs predicted for the same task. We provide theoretical justification for semantic interleaving. We also introduce temperature mixing, where we combine samples generated by LLMs using both high and low temperatures. We extensively evaluate our approach in three domains, namely databases (SQL), data science (Pandas) and business intelligence (Excel's Power Query M) on a variety of new and existing benchmarks. We observe substantial gains across domains, with improvements of up to 45% in top-1 accuracy and 34% in top-3 accuracy.

  • 12 authors
·
May 2, 2023

Diverse And Private Synthetic Datasets Generation for RAG evaluation: A multi-agent framework

Retrieval-augmented generation (RAG) systems improve large language model outputs by incorporating external knowledge, enabling more informed and context-aware responses. However, the effectiveness and trustworthiness of these systems critically depends on how they are evaluated, particularly on whether the evaluation process captures real-world constraints like protecting sensitive information. While current evaluation efforts for RAG systems have primarily focused on the development of performance metrics, far less attention has been given to the design and quality of the underlying evaluation datasets, despite their pivotal role in enabling meaningful, reliable assessments. In this work, we introduce a novel multi-agent framework for generating synthetic QA datasets for RAG evaluation that prioritize semantic diversity and privacy preservation. Our approach involves: (1) a Diversity agent leveraging clustering techniques to maximize topical coverage and semantic variability, (2) a Privacy Agent that detects and mask sensitive information across multiple domains and (3) a QA curation agent that synthesizes private and diverse QA pairs suitable as ground truth for RAG evaluation. Extensive experiments demonstrate that our evaluation sets outperform baseline methods in diversity and achieve robust privacy masking on domain-specific datasets. This work offers a practical and ethically aligned pathway toward safer, more comprehensive RAG system evaluation, laying the foundation for future enhancements aligned with evolving AI regulations and compliance standards.

  • 3 authors
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Aug 26, 2025